AMENDMENT NO. 39. Participant Name and Address Changes

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1 AMENDMENT NO. 39 JOINT SELF-REGULATORY ORGANIZATION PLAN GOVERNING THE COLLECTION, CONSOLIDATION AND DISSEMINATION OF QUOTATION AND TRANSACTION INFORMATION FOR NASDAQ-LISTED SECURITIES TRADED ON EXCHANGES ON AN UNLISTED TRADING PRIVILEGE BASIS Participant Name and Address Changes AGREEMENT made as of the 29th day of June, 2017, among Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC, and NYSE National, Inc. (collectively, the Participants ). The Participants enter into this Agreement in order to reflect changes to the names and addresses of certain Participants and to update the listing of Participant identifying codes. For those purposes, the Participants agree that: (a) Section I(A) of the Plan, as heretofore amended and restated, is hereby further amended as follows: A. Participants 1. Bats BYX Exchange, Inc. 2. Bats BZX Exchange, Inc. 3. Bats EDGA Exchange, Inc. 4. Bats EDGX Exchange, Inc. 5. Chicago Board Options Exchange, Inc. 400 South LaSalle Street, 26 th Floor

2 6. Chicago Stock Exchange, Inc. 440 South LaSalle Street 7. Financial Industry Regulatory Authority, Inc K Street, N.W. Washington, D.C International Securities Exchange, LLC 60 Broad Street New York, New York Investors Exchange LLC 4 World Trade Center 44th Floor New York, New York NASDAQ BX, Inc. New York, New York NASDAQ PHLX, Inc Market Street Philadelphia, Pennsylvania NASDAQ Stock Market LLC New York, NY New York Stock Exchange LLC 14. NYSE Arca, Inc. 15. NYSE MKT LLC 16. NYSE National, Inc. 101 Hudson, Suite 1200 Jersey City, NJ 07302

3 (b) Section VIII(C) of the Plan, as heretofore amended and restated, is hereby further amended as follows: C. Symbols for Market Identification for Quotation Information and Transaction Reports The following symbols shall be used to denote the marketplaces: CODE A Z Y B W M J K I V D Q C N P X PARTICIPANT NYSE MKT LLC Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. NASDAQ BX, Inc. Chicago Board Options Exchange, Inc. Chicago Stock Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. International Securities Exchange, LLC Investors Exchange LLC Financial Industry Regulatory Authority, Inc. NASDAQ Stock Market LLC NYSE National, Inc. New York Stock Exchange LLC NYSE Arca, Inc. NASDAQ PHLX, Inc. * * * * * Addendum 1 to this Agreement contains an additional version of Sections I(A) and VIII(C), marked to show the proposed changes set forth in this Agreement. In Addendum 1, proposed additions are underlined and proposed deletions are [struck through and bracketed].) Under Rule 608(b)(3)(ii) of Regulation NMS, the amendment is concerned solely with the administration of the Plan. Also, the amendment is a Ministerial Amendment under Section XVI of the Plan. As a result, the amendment becomes effective upon filing with the Commission and can be submitted by the Chairman of the Plan s Operating Committee. Except for the amendments contained in this amendment, the Plan is unchanged and remains in full force and effect.

4 IN WITNESS WHEREOF, the Chairman of the Plan s Operating Committee, has executed this amendment as of the date first above written. Emily Kasparov Chairman Plan Operating Committee

5 ADDENDUM 1 To the Thirty-Ninth Amendment to the Plan PROPOSED AMENDMENTS TO THE UTP PLAN MARKED TO SHOW CHANGES FROM THE EXISTING PLAN (Additions are underlined; Deletions are [struck through and bracketed].) Section 1. Participants. The Participants include the following: A. Participants 1. Bats BYX [BATS] Exchange, Inc Marshall Drive, Ste Bats BZX [BATS Y-Exchange], Inc 3. Bats EDGA Exchange, Inc. 4. Bats EDGX Exchange, Inc. [3]5. Chicago Board Options Exchange, Inc. 400 South LaSalle Street, 26 th Floor [4]6. Chicago Stock Exchange, Inc. 440 South LaSalle Street [5. EDGA Exchange, Inc. 545 Washington Boulevard Sixth Floor Jersey City, NJ 07310

6 6. EDGX Exchange, Inc. 545 Washington Boulevard Sixth Floor Jersey City, NJ 07310] 7. Financial Industry Regulatory Authority, Inc K Street, N.W. Washington, D.C International Securities Exchange, LLC 60 Broad Street New York, New York Investors Exchange LLC 4 World Trade Center 44th Floor New York, New York NASDAQ [OMX ]BX, Inc. New York, New York NASDAQ [OMX ]PHLX, Inc Market Street Philadelphia, Pennsylvania NASDAQ Stock Market LLC New York, NY 10006[ 12. National Stock Exchange, Inc. 101 Hudson, Suite 1200 Jersey City, NJ 07302] New York Stock Exchange LLC 14. NYSE Arca, Inc. [14]15. NYSE [Amex ]MKT LLC [20 Broad ]Street

7 [15. NYSE Arca, Inc. 100 South Wacker Drive Suite 1800 Chicago, IL The Nasdaq Stock Market LLC 1 Liberty Plaza New York, NY 10006] 16. NYSE National, Inc. 101 Hudson, Suite 1200 Jersey City, NJ * * * * * Section VIII Transmission of Information to Processor by Participants A. and B. No change. C. Symbols for Market Identification for Quotation Information and Transaction Reports The following symbols shall be used to denote the marketplaces: CODE A Z Y B W M J K I V D Q C N P X PARTICIPANT NYSE MKT[Amex] LLC Bats BZX [BATS] Exchange, Inc. Bats BYX Exchange, Inc. NASDAQ [OMX] BX, Inc. Chicago Board Options Exchange, Inc. Chicago Stock Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. International Securities Exchange, LLC Investors Exchange LLC Financial Industry Regulatory Authority, Inc. NASDAQ[Nasdaq] Stock Market LLC NYSE National [Stock Exchange], Inc. New York Stock Exchange LLC NYSE Arca, Inc. Nasdaq [OMX] PHLX, Inc.

AMENDMENT NO. 35. Timestamps

AMENDMENT NO. 35. Timestamps AMENDMENT NO. 35 JOINT SELF-REGULATORY ORGANIZATION PLAN GOVERNING THE COLLECTION, CONSOLIDATION AND DISSEMINATION OF QUOTATION AND TRANSACTION INFORMATION FOR NASDAQ-LISTED SECURITIES TRADED ON EXCHANGES